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CCEP Set 1 Exam Questions and Complete Solutions Graded A+
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CCEP Set 1 Exam Questions and Complete Solutions Graded A+
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CCEP Set 1 ExamQuestions and
Complete Solutions
Graded A+
Denning [Date] [Course title]
, A company uses 5,000 third parties to accomplish business tasks. Which of the following steps should
the compliance and ethics professional take to require third parties to comply with the company's ethics
and compliance standards?
A. Read the third party's code of conduct.
B. Include the standards in the third-party contract.
C. Conduct due diligence on the third party.
D. Communicate the standards to the third part - Correct Ans: B. Include the standards in the third-
party contract.
When auditing compliance issues, the person must be
A. external.
B. an internal auditor.
C. certified.
D. independent - Correct Ans: D. independent
Which of the following is the MOST effective way a compliance and ethics professional can evaluate
compliance and ethics audit findings?
A. Investigate only those allegations received from mid-level management.
B. Conduct trend analysis on identified risk areas and benchmark results against industry standards.
C. Track the number of sexual harassment allegations received by HR that are substantiated.
D. Review the number of hotline calls received and provide the information to the CFO - Correct Ans: B.
Conduct trend analysis on identified risk areas and benchmark results against industry standards.
After an internal investigation, a plant manager is found to have willfully disregarded environmental
regulations to reach production goals. HR and the plant manager's supervisor agree that the plant
manager should be terminated. After a month, the plant manager has not been terminated. Which of
the following should be the compliance and ethics professional's FIRST action?
A. Terminate the plant manager immediately.
B. Remind the supervisor that he agreed to terminate the plant manager.
C. report the lack of disciplinary action to the board of directors.
D. Require HR to terminate the plant manager - Correct Ans: D. Require HR to terminate the plant
manage
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